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Test SP Guidelines – CTCI/FIX Protocols in NTF

Subject Information Contact
Test registration Firms must register for access to the test system NASDAQ OMX Subscriber Services at (212) 231-5180; Option #3
Connectivity NASDAQ OMX will provide Host IP, Port and connection IDs to firms that request access to NTF. Firms can use their current network providers to access the NTF.
  • CTCI: Firms who currently access TRACE via CTCI may require a separate station to access NTF for SP. This will be evaluated as part of the testing process.
  • FIX: Firms will need new FIX sessions to access NTF for SP.
NASDAQ OMX Subscriber Services at (212) 231-5180; Option #3
Testing hours – CTCI/FIX 8 a.m. – 6 p.m. ET  
Help with messages supported Trade report
Trade cancel
Trade correction
Trade Reversal (>T-20)
NASDAQ OMX Subscriber Services at (212) 231-5180; Option #1
Test scripts/securities available for testing Download the  and  available for testing. Firms can also conduct their own testing scenarios using the securities available in the securities file.
Firms should ensure that the test cases are not submitted via their production lines to TRACE.

During the testing period, firms may request a daily file of their input messages processed throughout the day.  Firms must make a separate request for each daily file that they wish to obtain. Please send daily file requests to FINRA Product Management.

Test SP Guidelines (API Download Files) – Not Available in NTF

Subject Information Contact
Test registration Not required  
Connectivity - API Secure Website New TRACE users will need to download a digital certificate and be issued a user id and password Current TRACE users can use their SFTP TRACE credentials to access the SP API secure website. FINRA Operations at (866) 776-0800 or via email.
Testing hours – API downloads 10:30 a.m. – 3:30 p.m. ET  
Help with test functions supported

File types available:

  • SP Master
  • Daily List
  • Participant List
  • Participant Daily List
FINRA Product Management

FINRA will attempt to change the data in the download files each day during the test period so that users can incorporate this information in their testing verification.